Speaker, Funding Platforms for Rule 506 Offerings: Navigating Broker-Dealer Registration Exemption for Investment Advisers and Issuers, Strafford Continuing Legal Education for Lawyers’ webinar, October 4, 2016
- Analysis of JOBS Act exemption from broker-dealer registration and broker-dealer registration generally
- Analysis of the issuer exemption and the Investment Advisers Act
- Analysis of SEC no-action letter
- Key take-aways for moving forward.
The panel will review these and other key issues:
- Scope of JOBS Act exemption from broker-dealer registration
- When broker-dealer registration is required
- Take-aways from SEC’s no-action letters to AngelList and FundersClub
- Discussion of the issuer exemption and Investment Adviser’s Act.